DFX Intelligence
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Registered advisor
N•••••• P•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as N•••••• V••••••••• Z••••••••• V••••••••• B•••••
At current firm
3 y
since Jul 28, 2023
In the industry
24 y
since May 21, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 28, 2023 · San Diego, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 18, 2017 to Jul 28, 2023 · Mililani, Hi
- L•• F•••••••• L•• BD affiliatedJul 5, 2011 to Apr 27, 2017 · Haleiwa, Hi
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJul 13, 2005 to Jul 5, 2011 · Honolulu, Hi
- D•• I••••••• S••••••• unclassifiedApr 21, 2005 to Jul 21, 2005 · Honolulu, Hi
- A••••••••• F•••••••• S•••••••• L•• national BDJun 27, 2002 to Aug 26, 2004 · Honolulu, Hi
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 28, 2023, registered Jul 28, 2023 (0 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 27, 2017, registered Apr 18, 2017 (-9 days) · Other · moved with a team
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
- D•• I••••••• S••••••• to U•••• F•••••••• S••••••• G••••• I•••left Jul 21, 2005, registered Jul 13, 2005 (-8 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to D•• I••••••• S•••••••left Aug 26, 2004, registered Apr 21, 2005 (238 days) · Other
Signals
- ••• LockedJul 28, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address